Practice Areas

feature one

Arbitration, Litigation, Mediation

With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.

feature two

Investigations, Audits and Exams

Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.

feature three

Securities Employment Issues

Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.

Recent Posts

Luckin Coffee Investigation

Luckin Coffee has notified the SEC and the public that it’s Board has formed a Special Committee, along with attorneys and forensic accountants to investigate allegations that beginning in the second quarter of 2019, Mr. Jian Liu, the chief operating officer and…